FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 07/01/2015 |
3. Issuer Name and Ticker or Trading Symbol
Natera, Inc. [ NTRA ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 640,051 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right to buy) | (1) | 12/16/2020 | Common Stock | 46,012 | $0.4401 | D | |
Stock Option (right to buy) | (2) | 05/19/2021 | Common Stock | 153,374 | $0.5542 | D | |
Stock Option (right to buy) | (3) | 09/20/2022 | Common Stock | 145,749 | $1.141 | D | |
Stock Option (right to buy) | (3) | 09/20/2022 | Common Stock | 350,568 | $1.141 | D | |
Stock Option (right to buy) | (4) | 02/24/2024 | Common Stock | 545,714 | $2.6569 | D | |
Stock Option (right to buy) | (5) | 12/09/2024 | Common Stock | 122,699 | $5.3953 | D |
Explanation of Responses: |
1. The Reporting Person vested ownership in this option over four years, with 25% of the shares subject to the award vesting on July 15, 2011, and 1/48th of the shares vesting equally on a monthly basis thereafter. |
2. The Reporting Person vests ownership in this option over four years, with 1/48th of the shares subject to the award vesting June 19, 2011, and 1/48th of the shares vesting equally on a monthly basis thereafter, subject to continued service to the Issuer by the Reporting Person. In addition, (i) the options shall vest as if the Reporting Person had provided an additional 12 months of service to the Issuer if the Issuer is subject to a change in control, and (ii) the options become fully vested if the Reporting Person is subject to an involuntary termination within 12 months of a change in control of the Issuer. |
3. The Reporting Person vests ownership in this option over four years, with 25% of the shares subject to the awared vesting on 9/1/2013, and 1/48th of the shares vesting equally on a monthly basis thereafter, subject to continued service to the Issuer by the Reporting Person. In addition, the options become fully vested upon the completion of the Issuer's initial public offering, a change in control, or the Reporting Person's death or disability. |
4. The option shares were fully vested as of the grant date. |
5. The Reporting Person vests ownership in this option over five years, with 20% of the shares subject to the award vesting November 20, 2015, and 1/60th of the remaining shares vesting equally on a monthly basis thereafter, subject to continued service to the Issuer by the Reporting Person. |
Remarks: |
/s/ Meaghan Nelson, attorney-in-fact | 07/01/2015 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |